DH
David N. Harper
BROOKSTONE CAPITAL MANAGEMENT LLC
Castle Rock, CO 80104
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CRD#: 2053675
DH
Professional summary
David Nelson Harper II, who also goes by David Nelson Harper, is a registered financial advisor currently at BROOKSTONE CAPITAL MANAGEMENT LLC located in Castle Rock, Colorado.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. David has worked at 7 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Nelson Harper
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Licensed INSURANCE AGENT ABLE TO SOLICIT AND SELL INSURANCE & ANNUITY PRODUCTS; APPROXIMATELY 160 HOURS PER MONTH
OWN AND MANAGE APARTMENT COMPLEXES; NON INVESTMENT RELATED; APPOX 10 HOURS PER MONTH NON TRADE HOURS
CORNERSTONE FINANCIAL CONSULTANTS IS THE NAME I WILL BE MARKETING MYSELF UNDER
CRS (Client Relationship Summary) - RIA
Click below to view David Nelson Harper II's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 19, 2018 - Present
BROOKSTONE CAPITAL MANAGEMENT LLC
Office #1: 4833 Front St Suite B 310, Castle Rock, CO 80104RIA
CRD#: 141413
Castle Rock, CO
Past
November 18, 2016 - March 19, 2018
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
Englewood, CO
Past
January 9, 2009 - July 22, 2009
ENVISION INVESTMENT ADVISORS, LLC
RIA
CRD#: 143667
ENGLEWOOD, CO
Past
July 31, 2008 - December 31, 2008
ENVISION INVESTMENT ADVISORS, LLC
RIA
CRD#: 143667
ENGLEWOOD, CO
Past
June 2, 2008 - June 5, 2008
ENVISION INVESTMENT ADVISORS, LLC
RIA
CRD#: 143667
ENGLEWOOD, CO
Past
January 19, 2001 - May 20, 2008
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
CENTENNIAL, CO
Past
June 5, 2000 - May 20, 2008
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
CENTENNIAL, CO
Past
September 3, 1997 - May 17, 2000
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
May 2, 1990 - August 27, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
May 2, 1990 - August 27, 1997
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BC
BROOKSTONE CAPITAL MANAGEMENT LLC
BROOKSTONE CAPITAL MANAGEMENT LLC | XL ADVISORS LLC
CRD#: 141413 / SEC#: 801-68010
RIA
Registered Investment Advisory firm - (6/20/2007 Approved)Arizona
Registered Investment Advisory firm - (6/25/2007 Terminated)Arkansas
Registered Investment Advisory firm - (7/3/2007 Terminated)California
Registered Investment Advisory firm - (6/26/2007 Terminated)Illinois
Registered Investment Advisory firm - (6/20/2007 Terminated)Indiana
Registered Investment Advisory firm - (6/25/2007 Terminated)Nevada
Registered Investment Advisory firm - (7/19/2007 Terminated)Ohio
Registered Investment Advisory firm - (6/25/2007 Terminated)Oklahoma
Registered Investment Advisory firm - (6/20/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/27/2007 Terminated)Tennessee
Registered Investment Advisory firm - (7/25/2007 Terminated)Texas
Registered Investment Advisory firm - (6/25/2007 Terminated)Virginia
Registered Investment Advisory firm - (7/6/2007 Terminated)Washington
Registered Investment Advisory firm - (6/25/2007 Terminated)Wisconsin
Registered Investment Advisory firm - (6/25/2007 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Colorado(3/19/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
BC
BROOKSTONE CAPITAL MANAGEMENT LLC
BROOKSTONE CAPITAL MANAGEMENT LLC | XL ADVISORS LLC
CRD#: 141413 / SEC#: 801-68010
RIA
Registered Investment Advisory firm - (6/20/2007 Approved)Arizona
Registered Investment Advisory firm - (6/25/2007 Terminated)Arkansas
Registered Investment Advisory firm - (7/3/2007 Terminated)California
Registered Investment Advisory firm - (6/26/2007 Terminated)Illinois
Registered Investment Advisory firm - (6/20/2007 Terminated)Indiana
Registered Investment Advisory firm - (6/25/2007 Terminated)Nevada
Registered Investment Advisory firm - (7/19/2007 Terminated)Ohio
Registered Investment Advisory firm - (6/25/2007 Terminated)Oklahoma
Registered Investment Advisory firm - (6/20/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/27/2007 Terminated)Tennessee
Registered Investment Advisory firm - (7/25/2007 Terminated)Texas
Registered Investment Advisory firm - (6/25/2007 Terminated)Virginia
Registered Investment Advisory firm - (7/6/2007 Terminated)Washington
Registered Investment Advisory firm - (6/25/2007 Terminated)Wisconsin
Registered Investment Advisory firm - (6/25/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1745 S. Naperville Road Suite 200, Wheaton, IL 60189
Mailing Address
Phone number
(630) 653-1400
Established
Firm type
Fiscal year end
# of Employees
395
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 73,650 |
| AUM (Assets Under Management) | $ 10,409,137,908 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BROOKSTONE CAPITAL MANAGEMENT LLC
CRD#: 141413Castle Rock, CO 80104TRUST BUT VERIFY
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